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Regulatory Update and Recent SEC Actions October 2023

Regulatory Update and Recent SEC Actions October 2023
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Sandy springsUnited statesNew yorkNew jerseySamuel masucciNeomi raoAndrewm middlebrooksNatasha vij greinerGary genslerOsman nawazWilliamv conn jrJonathan vincent glennGurbirs grewalDuane desparteCorey schusterRichard best

Government rating agency fined $4m for SEC violations

Government rating agency fined $4m for SEC violations
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Osman nawazGurbirs grewalDavid burtKroll bond rating agencyDivision of enforcementEnforcement division complex financial instruments unitExchange commissionComplex financial instruments unit

Broker-dealers, IAs, credit raters caught in SEC off-channel comms sweep

Broker-dealers, IAs, credit raters caught in SEC off-channel comms sweep
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United statesOsman nawazInteractive brokersCredit suisseMorgan stanleyGoldman sachsKroll bond rating agencyDeutsche bankRobertw baird coHolt coWells fargoEnforcement division complex financial instruments unitWilliam blair companyCommodity futures trading commissionInteractive brokers corpWilliam blair investment management

SEC gov | SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures

SEC gov | SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures
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New yorkUnited statesMichael dibattistaLawrence renbaumGurbirs grewalWesley wintermyerJudith weinstockStephanie reinhartAnne graber blazekEmily rothblattSheldon pollockOsman nawazDivision of enforcementEnforcement division complex financial instruments unitChicago regional officeExchange commission

SEC Charges Two Credit Rating Agencies, DBRS And KBRA, with Longstanding Recordkeeping Failures - DBRS Also Charged With Disclosure And Internal Controls Violations

SEC Charges Two Credit Rating Agencies, DBRS And KBRA, with Longstanding Recordkeeping Failures - DBRS Also Charged With Disclosure And Internal Controls Violations
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New yorkUnited statesWesley wintermyerMichael dibattistaOsman nawazAnne graber blazekGurbirs grewalSheldon pollockEmily rothblattStephanie reinhartJudith weinstockLawrence renbaumYork regional officeChicago regional officeEnforcement division complex financial instruments unitExchange commission